Whilst this video relates the SNRs and not the new standards, the information provided in this video is still useful information. Carly Simpson and Sue Hepperlin from ASQA discuss areas of non-compliance.
Organisations applying for initial registration are often found to be non-compliant with Sue Hepperlin. Standard 4 requires the applicant to have strategies in place to provide quality training and assessment across all of its operations. Many applicants are found non-compliant with this standard because they are unable to provide evidence that they have all the required resources in place before making an application to ASQA.
An applicant organisation must have all the required resources in place to deliver and assess the qualifications it is applying to have on its scope of registration before applying to ASQA for initial registration.
This is equally important for RTOs and providers with continuing registration.
RTOs and providers who are applying to add to their scope of registration must have all the required resources in place before applying. If RTOs and providers are applying to renew their registration they must also have all the required resources in place to deliver and assess the qualifications they have on scope. This includes staff, facilities, equipment, and training and assessment materials.
ASQA has also identified frequent non-compliance with Standard 15 when auditing training organisations and providers. Standard 15 requires the NVR registered training organisation to provide quality training and assessment across all of its operations. There are three common reasons for non-compliances within Standard 15. The organisation’s Training and Assessment Strategies do not match how the RTO actually conducts training and assessment. That is – training and assessment – does not meet the requirements of the Training Package or requirements of individual units of competency. Secondly, insufficient evidence is provided to demonstrate the vocational competence, and training and assessment competence, of trainers and assessors to deliver training and assessment in the qualifications on the scope of an RTO’s registration.
And the third most common reason for non-compliance with Standard 15 is that the training and assessment materials are not appropriate for the particular group of learners or do not represent the depth, breadth and complexity of skills and knowledge that learners are expected to demonstrate at the level of the qualification.
Trainer/assessor competence. This is the VET sector. It’s all about enhancing the skills of Australia’s current and future workforce. It is critical that people training others have current vocational skills and competencies that meet current
industry standards. What is important is that the provider can demonstrate that its trainers and assessors have current vocational competence, as well as training and assessment competencies. It is not unusual that evidence is not provided to demonstrate that trainers and assessors hold industry currency and competency relevant to the content of a unit of competency and the level of a qualification. Trainer and assessors who do not hold the required competencies can continue to train and assess students as long as they are supervised by someone at the RTO who does hold the required competencies.
Often evidence of a direct supervision arrangement is not provided.
Other common reasons for finding non-compliance with the requirements of Standard 15 include: Not providing evidence of the systematic validation of assessment materials. Not providing evidence to demonstrate how they have managed the transition to new qualifications and Training Packages within 12 months of their release or that there is a process in place that meets the requirements of ASQA’s General direction – Transition & teach-out. Information for students not being consistent with other course documentation. Providers relying on third parties who do not hold the necessary assessment competencies to make judgments about the competence of a learner. Records of assessment not substantiating competency judgments and the basis for those judgments, and assessment materials not meeting the requirements of the Training Package or assessment not being conducted in accordance with the principles of evidence and the rules of evidence.
Non-compliance for CRICOS providers?
ASQA auditors have also identified a number of non-compliances with the standards as prescribed in the National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students 2007. These standards set out the obligations on registered providers in delivering education and training to overseas students. Most non-compliances that have been identified relate to: Marketing information and practices.
Student engagement before enrolment. Formalisation of enrolment. Student support services, and Staff capability, educational resources and premises.
Non-compliance is commonly identified because: student records don’t match student letters of offer changes to courses are not reflected in the evidence provided at audit. Records do not align with course details all support staff are not able to demonstrate an understanding of the ESOS Act and the National Code as they relate to their positions, and teaching staff and trainers and assessor qualifications and experience do not meet the benchmarks set by the NVR standards, the Training Package requirements or the ELICOS standards. It is also important to remember that all providers must keep ASQA informed of any material changes to their operations and/or legal status. The ‘Notification of material change or event’ form on the ASQA website should be used to do this.
Further information about frequent non-compliances is available on ASQA’s website asqa.gov.au.